DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Red Oak Financial Group

Independent wealth managerTowson, MarylandCRD 166912SEC 801-80860website IAPD

Legal name Red Oak Financial Group, LLC

Latest filing Jul 17, 2026

First filing on the tape Jan 8, 2015 · 72 filings

SEC status approved since Jan 21, 2015

RAUM

$1.0B

reported, Item 5.F

Discretionary

59%

of RAUM

Private clients

59%

$616M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$149M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

72 filings and snapshots on the tape

RAUM$1.0B as of Jul 17, 2026

Mar 30, 2015$91.8M then

HNW client RAUM$324M as of Dec 2, 2025

Mar 26, 2018$81.9M then

State-registered IARs (5.B.3)6 as of Jul 17, 2026

Mar 30, 20152 then

Employees (5.A)20 as of Jul 17, 2026

Mar 30, 20153 then

Private funds: no history

RAUM +24% over the last fiscal year+21% a year over threeIARs 6 to 6

Practice profile

derived from the filing of Jul 17, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients

RAUM per advisor: $149MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $551,856derivedRAUM over accounts (5.F.2.f)
Discretionary: 59%derivedof RAUM
Institutional: 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.9derivedItem 5.A over advisors
Advisors per office: 7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +24%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody: $198M, 117 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$616M59%
Pension and profit-sharing plans$424M41%
Charitable organizations$954,4470.1%
Corporations and businesses$211,6260.0%

Individual clients: 1,051reported
HNW clients: n/areported
Pension plan clients: 151reported
Charitable clients: n/areported
Accounts: 1,885reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $198M for 117 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.59 fund_share=0.0 institutional_share=0.41 related_bd=false related_bank=false bd_reps=5.0derived

Advisors registered through the firm

7 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Christopher Patrick ComptonCertified Financial Planner, Chartered Financial Consultant	Towson, Md	Feb 20, 2013	29 y	1
Robert Lester Compton	Towson, Md	May 3, 2018	21 y	0
Robert Lloyd Dimarino	Towson, Md	Jul 25, 2019	11 y	0
David Wroth FeeleyCertified Financial Planner	Towson, Md	Aug 23, 2021	13 y	0
Greg Albert Pyne	Towson, Md	Jan 25, 2025	28 y	0
Jason Michael Simmons	Towson, Md	Mar 14, 2025	28 y	7
Maxwell Chi KielyCertified Financial Planner	Towson, Md	Feb 6, 2026	14 y	2

Advisor movement

1 left, 1 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount4 left over 36 months

Left, latest

Erin Lynn Villamizar to Modera Wealth Management, LLC
Oct 16, 2025 · RIA to RIA
Jason Anthony Koval to Elite Income Advisors, Inc.
Mar 21, 2025 · RIA to RIA
Aaron Abel Tyburski to Osaic Wealth, Inc.
Jan 3, 2025 · RIA to affiliated broker-dealer or bank
Jonathon Louis Defeo to Elite Income Advisors, Inc.
Nov 27, 2024 · RIA to RIA
Beth Noelle Nori to Kestra Advisory Services, LLC
Feb 17, 2022 · RIA to affiliated broker-dealer or bank
Brandon Luckett to Cnl Educational Institute, LLC
Dec 23, 2020 · Other
John Caldwell Rast to Morgan Stanley
Oct 8, 2019 · RIA to wirehouse
William Michael Smith to Strategic Advisers LLC
May 11, 2018 · RIA to affiliated broker-dealer or bank
Jason Michael Simmons to Fisher Investments
Oct 13, 2015 · Other

Joined, latest

Maxwell Chi Kiely from Osaic Wealth, Inc.
Feb 6, 2026 · Affiliated broker-dealer or bank to independent RIA
Jason Michael Simmons from LPL Enterprise, LLC
Mar 14, 2025 · Other
Jonathon Louis Defeo from Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 24, 2022 · Wirehouse to independent RIA
Beth Noelle Nori from Kestra Advisory Services, LLC
Oct 7, 2021 · Affiliated broker-dealer or bank to independent RIA
Brandon Luckett from The L. Warner Companies, Inc
Jun 5, 2018 · Other
William Michael Smith from Maryland Capital Management, LLC
Feb 9, 2016 · Other
Jason Michael Simmons from LPL Financial LLC
Apr 12, 2013 · Other
Christopher Patrick Compton from Osaic Fa, Inc.
Feb 20, 2013 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Patrick Christopher Compton · Chief Compliance Officer/Managing Membercontrol
since 02/2013 · owns less than 5%
Patrick Christopher Compton · Managing Member/Ownercontrol
since 02/2013 · owns 75% or more of Rl Compton & Associates, Inc

Entity owners

Rl Compton & Associates, Inc. · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

Rl Compton & Associates, Inc.
LP sponsory

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Towson, Md · principal	7	1	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · unset to 197801453.0
Mar 6, 2026 to Apr 9, 2026
Custody of client assets · false to true
Mar 6, 2026 to Apr 9, 2026
Legal name · COMPTON FINANCIAL GROUP, LLC to RED OAK FINANCIAL GROUP, LLC
Mar 6, 2026 to Apr 9, 2026
Accounts · 1,700 to 1,885
Dec 2, 2025 to Mar 6, 2026
Advisory employees · 7 to 6
Dec 2, 2025 to Mar 6, 2026
BD registered reps · 4 to 5
Dec 2, 2025 to Mar 6, 2026
HNW clients · 180.0 to unset
Dec 2, 2025 to Mar 6, 2026
Individual clients · 565 to 1,051
Dec 2, 2025 to Mar 6, 2026
Pension plan clients · 150 to 151
Dec 2, 2025 to Mar 6, 2026
State-registered IARs · 7 to 6
Dec 2, 2025 to Mar 6, 2026
Discretionary RAUM · $450M to $617M
Dec 2, 2025 to Mar 6, 2026
HNW RAUM · 323666978.0 to unset
Dec 2, 2025 to Mar 6, 2026
Individual RAUM · $124M to $616M
Dec 2, 2025 to Mar 6, 2026
Non-discretionary RAUM · $387M to $424M
Dec 2, 2025 to Mar 6, 2026
Pension RAUM · $388M to $424M
Dec 2, 2025 to Mar 6, 2026
RAUM · $837M to $1.0B
Dec 2, 2025 to Mar 6, 2026
Advisory employees · 6 to 7
Mar 21, 2025 to Oct 16, 2025
Employees · 19 to 20
Mar 21, 2025 to Oct 16, 2025
Financial planning clients · 0 to 0
Mar 21, 2025 to Oct 16, 2025
State-registered IARs · 6 to 7
Mar 21, 2025 to Oct 16, 2025
Accounts · 1,565 to 1,700
Jan 31, 2025 to Feb 24, 2025
Advisory employees · 7 to 6
Jan 31, 2025 to Feb 24, 2025
BD registered reps · 7 to 4
Jan 31, 2025 to Feb 24, 2025
HNW clients · 120 to 180
Jan 31, 2025 to Feb 24, 2025
Individual clients · 567 to 565
Jan 31, 2025 to Feb 24, 2025
Pension plan clients · 142 to 150
Jan 31, 2025 to Feb 24, 2025
Employees · 20 to 19
Jan 31, 2025 to Feb 24, 2025
State-registered IARs · 7 to 6
Jan 31, 2025 to Feb 24, 2025
Discretionary RAUM · $376M to $450M
Jan 31, 2025 to Feb 24, 2025
HNW RAUM · $226M to $324M
Jan 31, 2025 to Feb 24, 2025
Individual RAUM · $133M to $124M
Jan 31, 2025 to Feb 24, 2025
Non-discretionary RAUM · $345M to $387M
Jan 31, 2025 to Feb 24, 2025
Pension RAUM · $360M to $388M
Jan 31, 2025 to Feb 24, 2025
RAUM · $721M to $837M
Jan 31, 2025 to Feb 24, 2025
Accounts · 1,507 to 1,565
Dec 14, 2023 to Mar 14, 2024
BD registered reps · 8 to 7
Dec 14, 2023 to Mar 14, 2024
HNW clients · 96 to 120
Dec 14, 2023 to Mar 14, 2024
Individual clients · 581 to 567
Dec 14, 2023 to Mar 14, 2024
Pension plan clients · 126 to 142
Dec 14, 2023 to Mar 14, 2024
Discretionary RAUM · $318M to $376M
Dec 14, 2023 to Mar 14, 2024

Signals

7 dated events

Erin Lynn Villamizar left Red Oak Financial Group for Modera Wealth Management, Llc (registered 2025-10-17)
Oct 16, 2025 · Advisor changed firm · fact
Jason Anthony Koval left Red Oak Financial Group for Elite Income Advisors, Inc. (registered 2025-07-02)
Mar 21, 2025 · Advisor changed firm · fact
Aaron Abel Tyburski left Red Oak Financial Group for Osaic Wealth, Inc. (registered 2025-01-10)
Jan 3, 2025 · Advisor changed firm · fact
Jonathon Louis Defeo left Red Oak Financial Group for Elite Income Advisors, Inc. (registered 2025-01-13)
Nov 27, 2024 · Advisor changed firm · fact
Beth Noelle Nori left Red Oak Financial Group for Kestra Advisory Services, Llc (registered 2022-03-08)
Feb 17, 2022 · Advisor changed firm · fact
Red Oak Financial Group reported RAUM $365.2M, up 164% from $138.3M (2017-11-24 to 2018-03-26)
Mar 26, 2018 · RAUM change · derived
Compton Financial Group, Llc filed its initial SEC registration (Form ADV)
Jan 8, 2015 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business phone: 410-321-0168reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 410-321-0169reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/redoak-financial-groupreportedpublic record, Form ADV, Sep 17, 2026
Website: redoak1978.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 410-321-0168reportedpublic record, Form ADV, Jul 17, 2026
Team page: redoak1978.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $149Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026